Senior Manager - Legal and Compliance , China-Hong Kong
Senior Manager - Legal and Compliance
Company:
Hays Banking Hong Kong
Location:
China-Hong Kong
Remuneration:
Excellent Remuneration Package
Position Type:
Permanent
Employment type:
Full time
Updated:
06 Nov 2009
eFC Ref no:
583348
Daily front office monitoring for the business.
Performing post-transaction surveillance.
Managing a small team.
Global Securities Firm
Front Office Trade Compliance Role
Excellent Remuneration Package
This global securities firm is looking to secure a new Senior Manager – Legal and Compliance. Reporting into the Head of Legal and Compliance and managing a small team, key responsibilities will include:
Assisting the Head of Legal and Compliance in the management of the department.
Performing daily front office monitoring of the business and conduct of regulated sales and trading activities, including brokerage, electronic and proprietary trading, asset management and wealth management.
Performing post-transaction surveillance for short selling, market misconduct and other trading irregularities.
Performing regular and ad-hoc monitoring and, where required, reporting or disclosure of interests in securities and large open positions, and money laundering.
Monitoring of emails, telephone and other electronic communications.
Handling, escalation and reporting of trading, information technology and operational errors and incidents.
Assisting in establishing, updating and enforcing internal front office, trading and sales policies and procedures.
Providing advice on regulatory, exchange and trading rules and regulations and updates.
Providing advice with respect to existing and potential new business activities, systems and products, and information security and business contingency plans.
Planning and undertaking regular compliance reviews on the business and regulated activities.
Key requirements include:
Minimum of 5 years prior experience working in compliance, audit, investment or fraud risk management in the securities, futures, banking or financial services industry.
Previous work experience in trade surveillance or investment management compliance with a regulatory body, exchange, financial institution, investment bank or fund manager preferred.
Excellent command in spoken and written English and Chinese.
Knowledge of information technology, electronic trading, surveillance, or risk management systems will be an advantage.
If you meet the above requirements please send your CV to maeve.mcgivern@hays.com.hk or call Maeve McGivern on +852 2521 1474 for a confidential discussion.
